ESMA Guidelines

  • Section:

ESMA Guidelines on Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps
https://www.esma.europa.eu/sites/default/files/library/2015/11/2013-74.pdf

ESMA Guidelines on certain aspects of the MiFID compliance function requirements 

https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-388.pdf

ESMA Guidelines on certain aspects of the MiFID suitability requirements 

https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-387.pdf

ESMA Guidelines Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities

https://www.esma.europa.eu/system/files_force/library/2015/11/esma_2012_122_en.pdf

MAR Guidelines. Persons receiving market soundings: https://www.esma.europa.eu/sites/default/files/library/2016-1477_mar_guidelines_-_market_soundings.pdf

MAR Guidelines. Delay in the disclosure of inside information: https://www.esma.europa.eu/sites/default/files/library/2016-1478_mar_guidelines_-_legitimate_interests.pdf

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